The Department: FinanceThe Role:Senior Associate, Trading Operations (Broker Dealer)Responsibilities:- Execute daily trade operations workflows, including cash, position, and trade reconciliations, ensuring operational procedures and risk controls are followed and properly documented
- Ensure timely, accurate settlement of trades and client allocations; investigate and resolve trade breaks (client-side and street-side)
- Maintain accuracy of positions, cash balances, and broker/clearing data across firm systems
- Monitor and process mandatory and voluntary corporate action events, including dividends, interest payments, and splits
- Support account maintenance and review of new and existing account activity for trading eligibility
- Partner with Compliance, Finance, Product and Engineering teams to support regulatory reporting, trade surveillance, and system enhancements
- Identify and escalate operational risk issues; contribute to process improvement and control documentation
- Support internal audits, regulatory exams, and control testing related to trade operations
Qualifications:- Bachelor's degree in Finance, Economics, or a related quantitative field
- 4+ years of experience in brokerage or trade operations at a broker-dealer, exchange, or clearing firm
- Working knowledge of the FINRA/SEC regulatory framework applicable to broker-dealers
- Strong attention to detail and reconciliation/analytical skills
- Intermediate or advanced in Excel/GoogleSheets and comfort working within trading and clearing systems
- Intermediate skills in SQL and managing large data sets
- FINRA Series 99 required (or ability to obtain within 90 days of hire)
- FINRA Series 7 and Series 63 preferred
It Pays to Work HereThe compensation & benefits package for this role includes:
- Competitive starting pay
- A discretionary annual bonus
- Long-term incentive in the form of a new hire equity grant
- Comprehensive health plans
- 401K with company matching
- Paid Parental Leave
- Flexible time off
Salary Range: The base salary range for this role is between $99,400 - $142,000 in the State of New York. This range is not inclusive of our discretionary bonus or equity package. When determining a candidate's compensation, we consider a number of factors including skillset, experience, job scope, and current market data.
In the United States, we offer a hybrid work approach at our hub offices, balancing the benefits of in-person collaboration with the flexibility of remote work. Expectations may vary by location and role, so candidates are encouraged to connect with their recruiter to learn more about the specific policy for the role. Employees who do not live near one of our hubs are part of our remote workforce.
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